Enforcement 

Enforcement Staff of the Commission receive and assess complaints concerning alleged misconduct in the Alberta capital market and investigate possible breaches of Alberta's securities laws. If proceedings are warranted against one or more parties, Enforcement Staff will launch a hearing before a Commission panel using a Notice of Hearing or will launch an action in the Provincial Court of Alberta. Both types of proceedings result in decisions determining whether Alberta's securities laws were breached and, if appropriate, orders setting out the sanctions or consequences.

ASC Rule 15-501 Rules of Practice and Procedure for Commission Proceedings applies to proceedings commenced on or after April 1, 2009. Jayne Lewis has been designated the Registrar of the Alberta Securities Commission, and all documents or other forms of communication that are to be directed to the Registrar should be directed to Ms. Lewis.

Status of Proceedings
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